state-registered advisers Tag

In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…

While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…

Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…

Are you the designated chief compliance officer of a state-registered investment advisory firm? If so, you must be clocking many…